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The Intangibles of Excellence: Governance and the Quest to Build a Vietnamese Apex Research University June 2009 Table of Contents Introduction A Overview B Peril and Promise C Vietnamese Government Policies D The National Debate E About this paper PART ONE Vietnamese Higher Education Today I Dimensions of the Crisis 10 II Faculty Policies 15 PART TWO The Modern Research University I Desirable Features of a Vietnamese Research University 16 Provide educational programs of the highest quality 16 Generate socially beneficial knowledge 17 Provide linkages to global knowledge currents 17 Attract the best and brightest 17 II Governance 18 A Academic Freedom 18 B Autonomy 19 C Accountability and Transparency 20 D Stable funding 21 E Merit-based selection mechanisms 22 F Willingness to compare oneself to the best 23 G Competition 24 III State Control versus State Supervision 25 IV Financing, Privatization, and the Public Interest 27 V Role of International Cooperation 31 A Traditional Exchanges 31 B Transplant 32 C Institutional Development 33 PART THREE Case Studies I China 35 II India 40 III Republic of Korea 45 PART FOUR Policy Recommendations Finance the long-term participation of international academic partners 49 Take a “green field” approach 50 Focus on building one institution 52 Invest heavily in human capital 53 Start with undergraduate education 53 APPENDIX ONE The African Institute of Science and Technology APPENDIX TWO Is more money the answer? The Intangibles of Excellence June 2009 Page of 64 The Intangibles of Excellence: Governance and the Quest to Build a Vietnamese Apex Research University “I believe that it is necessary to stress that for most countries today, human resource development and human capital formation are either extremely important, absolutely vital, or a matter of life and death In the case of Malaysia…we think it is a matter of life or death.” Abdullah Bin Ahmed Badawi, Malaysian Prime Minister, 2006 Introduction1 A Overview Knowledge and human capital are now the main drivers of economic development and the key determinants of national competitiveness The role of research universities in the development process has changed as a result of the emergence of the knowledge economy Research universities educate a country’s most talented students, irrespective of socioeconomic status; their graduates serve society in important ways, as innovators, entrepreneurs, managers, civil servants, and political and civic leaders In developing countries, apex research universities often play a critical role in adapting advancements in global knowledge to conditions in their own countries The knowledge generated by research universities contributes to social wellbeing and prosperity Research universities are increasingly viewed as symbols of national prestige Having a handful of research universities benefits the entire national education system by producing highly qualified professors and teachers For all of these reasons, countries have expended vast sums of money in an effort to build world-class research universities The results of these efforts have been mixed Economically successful countries like South Korea, China, and India, have found it easier to create world-class companies than world-class universities Yet, countries This paper was written by Laura Chirot (laurachirot@gmail.com) a New School researcher based at the Fulbright School in Hồ Chí Minh City, and Ben Wilkinson (ben_wilkinson@harvard.edu) of the Vietnam Program at the Harvard Kennedy School’s Ash Institute for Democratic Governance and Innovation Funding from the United Nations Development Programme made the study possible and is gratefully acknowledged The following individuals served as senior advisors to the study: Bob Kerrey (President of The New School), Ben Lee (Senior Vice President for International Affairs at The New School), Tony Saich (Director of the Ash Institute for Democratic Governance and Innovation), Tom Vallely (director of the Ash Institute’s Vietnam Program), and J Tomas Hexner (Science Initiative Group, Institute of Advanced Study) The authors thank the following individuals for their contributions to the paper: Ashok Gurung (India China Institute, The New School), Meredith Woo (University of Virginia), G.P Shukla (Duke University), C.N Rao (Jawaharlal Nehru Centre for Advanced Scientific Research), He Jin (Ford Foundation), Shi Jinghuan (Tsinghua University), Dwight Perkins (Harvard University), David Dapice (Tufts University), and Steve Wheatley (American Council of Learned Societies) We owe an enormous debt of gratitude to the hundreds of people in Vietnam and elsewhere who took the time to share their knowledge and perspectives with us Vũ Minh Hoàng, Hoàng Bảo Châu, and Christopher Behrer contributed to the research and production process at critical junctures The Intangibles of Excellence June 2009 Page of 64 that have successfully sustained long-term growth, including these three, have had at least a few high quality research universities Prime Minister Badawi’s remarks, quoted above, are representative of the seriousness with which countries in Asia and around the world view higher education The Vietnamese government has repeatedly expressed its desire to reform higher education and earn international recognition for its universities In particular, Vietnam seeks to build several “new model universities” that it hopes will join the ranks of the world’s leading higher education institutions This paper is about translating these laudable ambitions into an actionable strategy Of course, one necessary ingredient is money, for research-oriented higher education institutions are extremely expensive Vietnam has asserted a readiness to spend heavily in pursuit of its goals However, we believe that the Vietnamese government and its international development partners have focused excessively on inputs—money, land, buildings, technology, etc.—at the expense of other elements that are no less determinative of outcomes For this reason, we have elected to focus on a second, less tangible element of excellence: governance At a system level, without a fundamental reordering of the relationship between academic institutions and the state, no level of financial resolve will be enough At the institutional level, a commitment to a core set of values—chief among them academic freedom and an affirmation of merit as the sole determiner of membership—must be encoded in a university’s DNA The centrality of governance is certainly not an original insight: in its policy statements, the Vietnamese government has repeatedly recognized the importance of governance According to a senior policymaker at the Ministry of Education and Training, the Higher Education Reform Agenda envisions a fundamental restructuring of state-university relations, calling for “the renovation of higher education management in the direction of increasing the autonomy, social accountability and competitiveness of higher education institutions.”2 However, the current direction of Vietnamese higher education policy suggests that there is a deep disconnect between the worthy sentiments expressed above and the actual substance of reforms, which continue to focus overwhelmingly on physical resources and inputs The element that may prove most elusive in Vietnam’s pursuit of scholarly and scientific excellence, is the one about which we have the least to say: political will Successful countries, including the three that we profile in part three, marshaled political will to break decisively with the status quo in their drive to acquire worldclass institutions of higher learning Since embarking on the ðổi reform process more than two decades ago, Vietnam has also demonstrated an ability to jettison entrenched paradigms, with historic results To date, however, the caution and incrementalism that have characterized Vietnamese education reform stand in stark contrast to the bold policy shifts that brought about the decollectivization of agriculture in the 1980s or made possible WTO accession Without a renewed sense of urgency and a willingness to embrace the principles that international experience demonstrates are essential to excellence, the government’s ambitions for education will almost surely remain unrealized Nguyễn Thị Lê Hương, “Vietnam Higher Education—Reform for the Nation’s Development,” p.10 Available at: http://www.unescobkk.org/fileadmin/user_upload/apeid/workshops/macao08/papers/3-p7-4.pdf The Intangibles of Excellence June 2009 Page of 64 B Peril and Promise In recent years considerable international attention has been devoted to the subject of higher education in developing countries One of the most important studies was undertaken by the Task Force on Higher Education and Society (hereafter referred to as the “Task Force”) Convened by the United Nations Educational, Scientific, and Cultural Organization (UNESCO) and the World Bank, the Task Force was informed by a belief that the study and practice of development had undervalued the importance of tertiary education as a driver of economic and human development The Task Force sought to examine the challenges developing countries confronted in improving their higher education systems It was composed of a distinguished panel of international scholars, under the direction of co-chairs Henry Rosovsky of Harvard University and Mamphela Ramphele of the University of Cape Town The Task Force’s findings were published in a report released in 2000, Peril and Promise: Higher Education in Developing Countries.3 The Task Force argued that purposes and constituencies served by modern higher education systems are so varied that no single institutional model can fulfill a society’s demands for tertiary education Accordingly, the Task Force stressed the importance of a stratified or “rationally differentiated” system composed of different institutions with complementary missions The typology of higher education institutions offered by the Task Force consists of the following: research universities, regional universities, professional schools, and vocational schools Among these, research universities occupy a particularly important place at the apex of the tertiary education system According to the Task Force, “[research universities’] overriding goals are achieving research excellence across many fields and providing high-quality education.”4 Since Peril and Promise was written, the concept of the “world-class university,” a national apex research university that is also globally recognized as one of the world’s top tier institutions, has gained great international currency Policymakers in developed and developing countries alike have fixated on global indices that attempt to rank the world’s best research universities In this paper we will refer to the two most widely used of these, the Times Higher Education Supplement (THES) and the Shanghai Jiao Tong University (SJTU) rankings, particularly to demonstrate the attainment of universities in the three countries profiled in this paper: China, India, and South Korea These tables measure international reputation and quality of research and teaching through a variety of subjective and objective performance indicators, including peer review, teacher/student ratios, numbers of publications, and citations in international journals Vietnamese commentators frequently observe that Vietnamese universities are distinguished by their absence from these rankings.5 We Hereafter Peril and Promise The full text of the report can be downloaded at the Task Force website: http://www.tfhe.net The Task Force on Higher Education and Society Higher Education in Developing Countries: Peril and Promise (Washington D.C: The World Bank, 2000), p.48 Vietnamese universities are not represented in either SJTU’s ranking of the top 100 universities in Asia or QS’s ranking of the top 200 Asian universities (QS compiles the THES rankings) The Intangibles of Excellence June 2009 Page of 64 should be clear that when we discuss building an “apex university” in Vietnam, we are not specifically referring to breaking into the top 100 or 200 in these global indexes, but to building an institution that achieves high levels of quality in teaching and research, as measured by internationally-recognized standards One recent attempt to identify the key issues in the quest to build top quality universities was written by the World Bank’s Jamil Salmi, called The Challenge of Establishing World Class Universities.6 The study starts from the premise that policymakers around the world want “world-class universities,” and argues that while countries pursue different strategies toward this end, all excellent research universities require a core set of conditions: a high concentration of talent, abundant resources, and favorable governance Salmi concludes that it is impractical, and even undesirable, for most countries to seek to join the top ranks of global research universities More important than world-class universities are higher education institutions and systems tailored to national social and economic needs C Vietnamese Government Policies The Vietnamese government has made the development of high-quality research universities a cornerstone of its national education policy This objective was explicitly embraced in Resolution 14 (14/2005/NQ-CP), adopted by Prime Minister Phan Văn Khải in November 2005 Resolution 14 called for the “fundamental and comprehensive renovation of higher education.” In the preamble, the resolution frankly acknowledges that Vietnamese higher education is failing to fulfill “the demands of industrialization and modernization of the country, the need of the people to study, and the demands of international integration in the new phase.”7 It calls for “concentrating investment, mobilizing experts inside and outside the country and [developing] an appropriate regulatory system [cơ chế] in order to build internationalstandard universities.” Resolution 14 has been followed by a raft of additional policy and vision statements In 2006, the Tenth Congress of the Vietnamese Communist Party called for the “comprehensive renovation of higher education,” including “focusing on the construction of one or two Vietnamese universities of international standing.”8 Under the leadership of Minister of Education and Training Nguyễn Thiện Nhân, the targets set out in these documents have been made more concrete The Ministry of Education and Training has announced a bold set of goals, including placing four The entire report is available at http://siteresources.worldbank.org/EDUCATION/Resources/2782001099079877269/547664-1099079956815/547670-1237305262556/WCU.pdf Resolution on the fundamental and comprehensive reform of Vietnamese university education during 2006-2010 (Nghị ñổi tồn diện giáo dục đại học Việt Nam giai ñoạn 20062010) 14/2005/NQ-CP (2 November 2005) Available at http://vanban.moet.gov.vn/?page=1.4&c2=NQ Báo ðiện Tử ðảng Cộng Sản Việt Nam Report at the ninth meeting on 10 April 2006 of the Central Comitte on directions for economic and social development during 2006-2010 [Báo cáo Ban Chấp hành Trung ương ðảng khóa IX ngày 10 tháng năm 2006 phương hướng, nhiệm vụ phát triển kinh tế - xã hội năm 2006 – 2010] Available at http://123.30.49.74:8080/tiengviet/tulieuvankien/vankiendang/details.asp?topic=191&subtopic=8&lead er_topic=699&id=BT160635244 The Intangibles of Excellence June 2009 Page of 64 Vietnamese universities in the global “top 200” by 2020.9 As of this writing, the government has agreed in principle to borrow over $500 million from the Asian Development Bank and the World Bank to finance the development of four new universities.10 According to MOET policymakers, two of these research-oriented apex universities shall be the Vietnamese German University in Hồ Chí Minh City and the Hà Nội University of Science and Technology.11 The ministry has also announced a program to train 20,000 PhDs by 2020 This is a particularly ambitious but important objective; one of the central themes of this paper is that a corps of well-educated scientists and scholars is an important prerequisite for creating high-quality researchoriented higher education institutions In recent years the Vietnamese government has also sought increased cooperation with the international community, reaching out to Japan, the United Kingdom, France, Australia, and the United States among others At a meeting of Asian and European education ministers, Prime Minister Nguyễn Tấn Dũng expressed Vietnam’s desire to strengthen its linkages to international research and scholarship: “Vietnam wishes to attract investment capital as well as leading educators and scientists from abroad, to invest, teach, and research in Vietnam at the same time sending even more Vietnamese students abroad for undergraduate and graduate study in countries with advanced education systems.”12 D The National Debate Arguably no issue has attracted more intense discussion and debate in Vietnam than education reform Participants in the debate are virtually unanimous in the view that Vietnamese higher education faces serious problems The consensus ends there Education has been a topic of heated debate in the National Assembly, with representatives grilling senior policymakers on various aspects of education policy The media has served as an enthusiastic ally of the Ministry of Education and Training in its efforts to eliminate academic corruption In an article published in VietnamNet in September 2007, national hero General Võ Nguyên Giáp wrote that, despite some progress, educational quality has remained uniformly low He concluded that, “…Our education system in principle continues rely on the old model In order for the country to develop rapidly with quality and sustainability, and keep pace in an era of information and intellect, we must implement a comprehensive, profound, and thorough renovation, in order to revolutionize education and training.”13 Tùng Linh “Spending 400 million USD on building universities will grant Vietnamese universities a place in the top 200” [“Chi 400 triệu USD xây trường ðH lọt top 200”].http://www.vietnamnet.vn/giaoduc/2008/12/818314/ (December 2008) 10 According to the most recent project documents, the World Bank will loan Vietnam $270 million (with Vietnam contributing $30 million directly) for two research universities in Hồ Chí Minh City and Cần Thơ, and the Asian Development Bank will loan $250 million for research universities in Hà Nội and ðà Nẵng These documents are available from the World Bank and ADB websites: http://web.worldbank.org/external/projects/main?pagePL=64283627&piP=73230&thesitePK=40941& menuPK=228424&Projectid=P110693 and http://www.adb.org/projects/project.asp?id=42079 11 Nguyễn Thị Lê Hương, p.12 12 Lâm Nguyên Vietnam determined to have advanced education system: PM [“Dự ASEMME 2, Thủ tướng Nguyễn Tấn Dũng: Mong muốn nhà khoa hc giỏi ñến nghiên cứu, giảng dạy”], Sài Gòn Giải Phóng, 15 May 2009 http://www.sggp.org.vn/giaoduc/2009/5/190631/ 13 Võ Nguyên Giáp “General Vo Nguyen Giap writes about education” [“ðại tướng Võ Nguyên Giáp viết giáo dục”] http://vietnamnet.vn/giaoduc/vande/2007/09/738921/ (September 2007) The Intangibles of Excellence June 2009 Page of 64 Vietnamese scientists and scholars have been among the most influential voices in the national debate In an effort to support the policy reform process, Vietnamese scholars and scientists inside and outside the country have organized seminars and produced white papers analyzing the roots of the current situation and proposing solutions In 2004, a number of prominent Vietnamese intellectuals led by the mathematician Hoàng Tụy (see below) submitted a petition to the Central Committee of the Vietnamese Communist Party and the Vietnamese government.14 They recommended that the government “build a single new modern, multidisciplinary university that can be a ‘pilot’ for university reform.” Another group including prominent domestic and overseas Vietnamese intellectuals produced a “proposal for the reform of Vietnamese education.”15 Former Vice President Nguyễn Thị Bình has also been an influential advocate of sweeping reform In our view, these contributions are important to understanding the nature of the challenges confronting Vietnam in higher education and the barriers to institutional reform E About this paper Achieving the government’s ambitious goals and fulfilling the aspiration of the Vietnamese people will be extremely difficult At present, Vietnamese research universities are among the poorest performers in the region by any commonly used metric This lamentable situation is the result of many factors, including a tragic modern history of colonial domination and war that held back the development of institutions of higher learning More recently, the root causes of the crisis in Vietnamese higher education can be found most immediately in dysfunctional governance systems that remove incentives to improve quality and that fail to make universities accountable to students, employers or the community This paper does not offer a detailed blueprint for establishing an apex university in Vietnam We will argue that there is no single quick policy fix to Vietnam’s education quandary—including increased spending Through an examination of universities in other Asian countries we will show that though there is no single path to academic excellence, there are several necessary preconditions The first is governance One of the central premises of our study is that elite research universities, whether in New York, Beijing, Bangalore, or Seoul, operate according to a set of common core principles The degree to which the governance systems of a university embrace these principles—including autonomy, academic freedom, merit-based personnel policies, and transparency—is determinative of quality The second precondition is a sustained commitment to human capital development We believe that Vietnam’s success in building a high-quality research university—an endeavor that many countries and individuals have undertaken in recent years and that few have realized—will come only after a serious examination of these fundamental issues 14 Hoàng Tụy et al., “Petition on Education” [“Bản điều trần giáo dục”] Petition to the Central Committee of the Vietnamese Communist Party and government Available at http://www.vnids.com/vanban/002Dieutran2004.pdf 15 See “Proposal to reform education: analysis and recommendations for the Vietnam education research group” (Hồ Tú Bảo, Trần Nam Bình, Trần Hữu Dũng, Ngơ Vĩnh Long, Trần Hữu Quang, Hồng Lê Thọ, Trần Văn Thọ, Hà Dương Tường,Vũ Quang Việt, Nguyễn Xuân Xanh, Võ Tòng Xuân) Available at: http://www.tapchithoidai.org/ThoiDai13/200813_NhomNghienCuu.htm The Intangibles of Excellence June 2009 Page of 64 This paper leaves a number of important issues regarding the Vietnamese higher education system unaddressed Higher education reform at a system level is the subject of a second paper being written a team of international and Vietnamese researchers convened by The New School and funded by the UNDP That study will focus on the policy mix needed to foster the development of a rationally differentiated higher education ecosystem, and will address issues such expanding access to higher education that are not treated in the present study The seeds for this paper were planted in 2007, when The New School organized a forum on higher education for a visiting delegation of senior Vietnamese leaders led by President Nguyễn Minh Triết and including Deputy Prime Minister Phạm Gia Khiêm and Minister of Education and Training Nguyễn Thiện Nhân The forum, entitled “Universities: Engines of Development” was chaired by Bob Kerrey, President of The New School The discussion centered on Vietnam’s stated goal of building a high quality research university Discussants included Blair Sheppard, dean of the Fuqua School of Business at Duke University, Tom Hexner of the Science Initiative Group, Tom Vallely of the Harvard Kennedy School Vietnam Program, David Dapice of Tufts University, and Harvard’s Henry Rosovsky, co-chair of the Task Force Since this event, under Bob Kerrey’s leadership, The New School has sought to continue its dialogue with Vietnam on higher education policy and reform.16 This paper was produced by a research team assembled by The New School, including individuals associated with The New School’s India China Institute, Ash Institute for Democratic Governance and Innovation at the Harvard Kennedy School and the Fulbright School, a center of public policy research and training in Hồ Chí Minh City This paper is informed by the work of many Vietnamese and international scholars We owe an especially heavy intellectual debt to two individuals The first is Professor Hoàng Tụy, former director of the Institute of Mathematics in Hà Nội Professor Tụy is arguably Vietnam’s most accomplished living scientist He is internationally recognized for his contributions to the field of mathematics, including but not limited to the theorem that bears his name Professor Tụy is today a prominent commentator on and critic of Vietnamese higher education policy He is chairman of the Institute for Development Studies (IDS) an independent think tank licensed by the Hà Nội Department of Science and Technology He is by no means the only important thinker on education today, but his international reputation and trenchant criticism lend his views special currency in Vietnam We believe that the analysis of Professor Tụy and his IDS colleagues is essential to understanding the challenges confronting Vietnamese higher education In January 2009 IDS submitted a white paper on education reform to the leadership of the Vietnamese Communist Party, the government, and the National Assembly The report expressed the fear that, “The crisis in education is above all else a crisis of quality, meaning that education has not only fallen behind, but is heading in the wrong direction, isolated and out of sync with contemporary global trends This is the consequence of many years of systemic management failures that have degraded education.”17 16 New School Senior Vice President for International Affairs Ben Lee served on a bilateral education task force convened jointly by Prime Minister Nguyễn Tấn Dũng and President George W Bush The task force completed its work in January 2009 17 Hoàng Tụy et al., “Proposal on Reforming and Modernizing Education” [Kiến nghị The Intangibles of Excellence June 2009 Page 10 of 64 We have also been profoundly influenced by Professor Henry Rovosky A former dean of Harvard’s Faculty of Arts and Sciences, Professor Rosovsky has written extensively on higher education in American and international contexts Professor Rosovsky’s views on the central importance of university governance are particularly salient to the present study Professor Rosovsky has advised the Harvard Vietnam Program since 2005, when he took part in a roundtable discussion of higher education organized at the Kennedy School for Prime Minister Phan Văn Khải and a delegation of Vietnamese dignitaries He has since discussed university governance with several senior Vietnamese policymakers This paper proceeds as follows The first section briefly assesses the current state of Vietnamese higher education Part two discusses the key features of research universities The issues of governance, the relationship between institutions and the state, privatization and financing, and the role of international cooperation are considered in detail In three short case studies, part three examines how China, India and South Korea have sought to improve the institutions at the apex of their higher education systems The final section advances a set of policy recommendations for Vietnam PART ONE Vietnamese Higher Education Today I Dimensions of the Crisis Vietnamese higher education is in crisis That the education system is failing to meet the needs of Vietnam’s rapidly transforming society and economy is widely acknowledged For this reason, this paper will not dwell on the evidence of the crisis A few observations are sufficient Vietnam lacks even a single university of recognized quality No Vietnamese institution appears in any of the widely used (if problematic) league tables of leading Asian universities In this respect Vietnam differs even from other Southeast Asian countries, most of which boast at least a handful of apex institutions of internationally recognized quality Vietnam’s universities are largely isolated from international currents of knowledge, as the poor publications record displayed in Figure reveals While imperfect, citations in peer-reviewed journals are one of the most reliable indicators of national science capacity.18 Some have attempted to explain Vietnam’s woeful performance as a matter of language facility This line of argument is unpersuasive; English is now the international language of science and scientists without a professional knowledge of English are almost certainly not capable of making meaningful contributions to their fields Professor Võ Tòng Xuân, winner of the Magsaysay Award, former National Assembly delegate, and rector emeritus of An Giang University, offers a different explanation: The professors and scientists with leading positions [in Vietnamese science] today are largely products of Soviet education, so their methodology for engaging with international standard science is limited, Cải cách, đại hóa giáo dục] Proposal by Institute for Development Studies, Hà Nội, p.3 Emphasis in the original Available at http://www.vnids.com/vanban/003KiennghiGiaoDuc.pdf 18 David A King, “The Scientific Impact of Nations,” Nature, 430, July 2004 The Intangibles of Excellence June 2009 Page 50 of 64 intensive participation and stewardship on the academic side, but will also require a concerted effort to build administrative capacity as well Take a “green field” approach In our view there are two approaches to building a quality research university.127 Vietnam can attempt to upgrade an existing institution, or it can create a new institution For a variety reasons, we believe that creating a new institution represents the best chance for success in the short to medium term As the discussion in part one sought to demonstrate, the quality of existing universities is so problematic that there is little to build on Academic institutions change slowly As the criticism of Professor Tụy and his colleagues makes clear, the formal and informal governance mechanisms are deeply dysfunctional They must be discarded, but breaking with deeply engrained practices will be a slow, painful process The World Bank’s Salmi agrees: “In countries where institutional habits, cumbersome governance structures, and bureaucratic management practices prevent traditional universities from being innovative, creating new institutions may be the best approach, provided that it is possible to staff them with people not influenced by the culture of traditional universities and provided that financial resources are not a constraint.”128 The comparison of the Chinese and Indian strategies to build apex universities is pertinent With remarkable prescience, India opted to start completely fresh, building the IITs and IIMs from scratch and setting up independent governance structures in order to create an entire new culture of transparency and academic excellence at these institutions China took a different approach, choosing to upgrade existing universities It was successful in imposing top-down quality assurance and accountability because it had the farsighted vision and political will to it The Chinese granted long-term, meaningful autonomy to a handful of top universities because they decided that a few world-class universities were absolutely critical to China’s continued growth In principle, it would be possible for the Vietnamese government to follow the Chinese route: investing very large amounts of money to a select few existing institutions while leaving them under the direct control of the central government These institutions would have the ability to recruit talent, organize courses and select students, while Hanoi would set and enforce strict performance standards In practice, however, political pressure in Vietnam drives the government toward sharing out resources rather than concentrating them in a few elite institutions This is both a strength and a weakness of the Vietnamese consensus-driven political system On the one hand, resource poor provinces have considerable power in Vietnam to demand help from the central government The more negative consequence of the consensus culture is that national objectives are often sacrificed to obtain the agreement of local authorities This is evident in the distribution of public investment 127 A third approach, considered by Salmi, is to merge existing institutions This has been attempted in Vietnam, most notably through the creation of the Vietnam National University system in 1995 In our view this strategy has not produced desired results, and is thus not worthy of serious consideration again 128 Salmi, p.45 The Intangibles of Excellence June 2009 Page 51 of 64 in Vietnam, which has suffered from an inability to prioritize the allocation of resources to projects with the largest economic and social impact.129 The difficulties that the government has encountered in imposing discipline on state-owned enterprises despite their track-record of profligacy and waste further suggests that existing governance mechanisms are incapable of imposing genuine accountability This recommendation is in tension with the current direction of Vietnamese policy, which exhibits a preference for establishing new academic units within existing universities, as seems to be the case of the recently founded Vietnamese German University (VGU) The details of the governance arrangement at this new institution, intended to become one of Vietnam’s new “international standard” research universities, are not entirely clear However, MOET’s planning document for the project states “Vietnam National University Hồ Chí Minh City is designated as the strategic partner, playing the core role in appointing personnel and professors, bringing together standards of specialized knowledge and foreign languages, and participating in management and teaching at VGU.”130 We not believe that the governance system required to create a research institution of quality can comfortably coexist with current management practices in existing universities While it may be theoretically possible to erect a sufficiently high wall around a new academic unit to shield it from the existing institution, in practice, the internal politics, competition for resources, and jealousies that are typical of academic institutions around the world will only complicate an already difficult job Consider the issue of faculty remuneration: it would be a courageous university president indeed who agreed to compensate certain faculty members at up to twenty times the official salary level of others with more seniority, yet this is precisely what would be required to build an apex academic unit within an existing university Starting from scratch will also enable the new institution to establish an independent brand that will aid in recruiting talented faculty and students; this will not happen if faculty members are borrowed on a part-time basis from an existing university Finally, and most importantly, a new independent university will inject an element of much-needed competition into the higher education system At present, Vietnam National University occupies the apex of the system The prospect that their reputations may be eclipsed by a newcomer may spur Vietnam’s existing universities to reform with more urgency This type of healthy competition is surely desirable Designing a governance system is a critical first step We recommend that a new institution be chartered as an independent, non-profit legal entity governed by a board of trustees The board may be composed of currently serving government officials (for instance a representative of the Minister of Education and Training) but it should also include representatives of the anchor international academic partner The board should be empowered to make all decisions regarding the new institution’s activities, and to select, assess, and terminate the employment of the university president and other key administrators 129 Choosing Success, 24-30 Ministry of Education and Training, “Summary of the project to establish the Vietnam German University” [Tóm Tắt ðề Án Thành Lập Trường ðại Học Việt-ðức], 2008 130 The Intangibles of Excellence June 2009 Page 52 of 64 Focus on building one institution Vietnam has announced plans to develop up to four universities with the hope of placing them within the global top 200 by 2020 We frankly believe that this is an unrealistic and counterproductive goal This paper has demonstrated that by any commonly used metric Vietnamese universities are among the poorest in the region The exceedingly poor publications record of Vietnamese scientists strongly suggests that they are largely isolated from developments in their disciplines In this grim context Vietnam should resist pressure to spread money across the system (and the country) and instead focus on building a single new institution, as was proposed in the Tenth Party Congress statement mentioned at the beginning of this paper The IDS proposal makes a similar recommendation: The issue of higher education is more complicated, and many years will be needed to clean up the current mess It will be necessary to upgrade several existing universities, but this task will take time, because successfully upgrading a single university to an international level will require a minimum of 10-15 years (Vietnam National University Hà Nội was established more than 10 years ago and remains far inferior to good universities in the region) At the same time, work must begin on building one or two new truly modern multidisciplinary universities, in accordance with all international standards, that can play a trailblazing role in the larger effort to modernize higher education This view was put forward in the 2004 petition, and was endorsed by Prime Minister Phan Văn Khải, but until now progress has been virtually nonexistent.131 Creating a new research university will be very expensive The $100 million that the government has stated it intends to invest in each school is unlikely to suffice It is difficult to estimate the exact cost of this endeavor in Vietnam, since it is such a complex and long-term project However, Professor Philip Altbach, director of the Center for International Higher Education at Boston College, estimates that building a world-class university today might cost $500 million.132 We sought to show through the case studies that China, India, and South Korea initially spent heavily to upgrade or build a very small number of research universities Considering proportionality, it follows that if Vietnam hopes to attract high quality faculty and finance research and laboratories, it must focus its resources Moreover, the government will need to invest heavily in foreign study to educate the next generation of scholars and scientist (see below) Vietnamese policymakers have objected to investing heavily in a single institution on equity grounds We believe that the Vietnamese public would support such an effort subject to several caveats First, the project should be transparent, with detailed financial information made available Before ground is broken on the construction of the first building, a detailed financial plan for the new university covering the first ten years of operations should be made public The financial plan should recognize that tuition fees will account for a small percentage of the institution’s operating expenses and that there can be no “sunset” to the provision of state financing Second, the institution should possess an explicitly national mandate and endeavor to recruit top students from around the country Thirdly, the institution should be held accountable by regular assessment by independent, external reviews conducted by Vietnamese and international experts 131 132 IDS, p 17 Philip G Altbach, “The Costs and Benefits of World-Class Universities,” Academe 90, no 1, 2004 The Intangibles of Excellence June 2009 Page 53 of 64 Invest heavily in human capital Vietnam needs to build its stock of human resources in science and technology by investing heavily and strategically in Ph.D training for Vietnamese students abroad During their period of rapid development, East Asian countries pursued a comprehensive vision for the development of human capital, particularly in science and technology.133 In India, China, South Korea, Taiwan and a number of other countries, foreign-trained Ph.D.s have played a critical role in economic development and the success of apex research universities Foreign graduate study in science and technology is a long-term investment in Vietnam’s scientific teaching and research quality The Vietnam Education Foundation report cites lack of teachers with foreign graduate training as one of the root problems in science and technology teaching We cannot stress the urgency of this enough: Vietnam is currently not training the corps of engineers and scientists that its economy and society demand In this regard, Vietnam is a generation or two behind China, India and South Korea, as it has only been sending students to the US and Europe since ðổi began China has been sending students abroad since the late 1970s; India, since before independence; and Korea, for more than four decades The volume of these flows has only increased: between 1998 and 2003, China sent about 35,000 students to the US for doctoral training in science and engineering fields; India and Korea each sent over 17,000.134 Vietnam has certainly made progress in sending students abroad over the past decade; however, the volume of students going for undergraduate or English language training seems to far outweigh the numbers going for advanced graduate training It is worrying that the government’s higher education investment plan for the period 2006-2020 does not appear to call for significant investment in foreign study Vietnam intends to spend $20 billion on higher education Setting aside the issue of whether it is realistic to expect that $10 billion of this investment can be mobilized from the private sector, the plan envisions spending $18 billion on infrastructure “hardware,” and only $110 million on “developing teaching and management staff.”135 Vietnamese policymakers would be wise to recall the critical role that foreign study has played in all of the Asian success stories Start with undergraduate education A new apex university in Vietnam should focus on undergraduate education For most people, an undergraduate degree will be their highest level of educational attainment before entering the workforce A quality undergraduate institution will offer more opportunities for a larger group of Vietnamese students, and could become a model of quality and best practice for other Vietnamese universities to emulate We have argued that a key purpose of apex research universities is to train students who can 133 Choosing Success, p.9 “International flow of students – An analysis related to China and India,” Naresh Kumar, Current Science, vol 94, no 1, 10 January 2008 135 Higher Education Reform Agenda 2006-2020 Cited in World Bank program document no 47492VN, p 13 134 The Intangibles of Excellence June 2009 Page 54 of 64 gain acceptance to elite graduate programs abroad Another reason for this recommendation is purely pragmatic KAIST was originally envisioned as a graduate program; but an important difference between Vietnam now and South Korea in the early 1970s was that Korea already had a large, highly trained cadre of US-trained scientists and scholars Given that Vietnam has not yet developed this wide network of nationals teaching and studying at high levels abroad, and considering the current state of Vietnamese science and technology, it would be impractical for Vietnam to focus on graduate education before building a strong base in undergraduate studies Vietnamese policymakers and educators should consider the two primary models of undergraduate education to decide which is most suitable The first of these models is liberal arts education, characteristic of US higher education Whatever their particular specializations, all students study a range of subjects in the humanities, social sciences, and natural sciences A general education has two purposes: to provide students with a wide breadth of knowledge and to instill strong writing, communication and analytical skills Educators tailor general studies curriculums to accommodate national culture, politics, and history; they also seek to form a coherent program that reaches across disciplines to draw connections between divergent perspectives and fields Elite Chinese universities have sought to develop a strong general studies curriculum that trains well-rounded students and facilitates life-long learning The Task Force emphasizes the practical importance of general education: A general education is an excellent form of preparation for the flexible, knowledge-based careers that increasingly dominate the upper tiers of the modern labor force With knowledge growing at unprecedented rates, higher education systems must equip students with the ability to manage and assimilate greatly expanded quantities of information A specific expertise in technology will almost inevitably become obsolete The ability to learn, however, will continue to provide valuable insurance against the vagaries of a rapidly changing economic environment.136 In the US and Chinese systems, students continue to postgraduate studies for specific professional training By contrast, the Indian Institutes of Technology and Management and most British universities offer a specialized three to four year undergraduate curriculum where students begin their professional studies from a younger age, though these still contain some general education component The Grandes Écoles in France combine highly specialized undergraduate training with a strong foundation in general studies Most countries, including the US, offer engineering as an undergraduate specialization Whether a new Vietnamese university implements a specialized undergraduate curriculum or a broader liberal arts curriculum, we believe that including a general studies element is advisable 136 Peril and Promise, 83 The Intangibles of Excellence June 2009 Page 55 of 64 APPENDIX ONE The African Institute of Science and Technology As this paper was finalized in June 2009 the Vietnamese government was in negotiations with the World Bank and the Asian Development Bank to secure financing for its higher education reform agenda According to publicly available information and statements by Vietnamese policymakers, a portion of this funding will be allocated to the construction of up to four international standard or “new model” universities As Vietnam continues to flesh out the details of these initiatives the lessons of international experience may prove instructive, especially with regard to the design of effective governance systems In the main body of this paper we described how effective university governance regimes evolved in China, India, and South Korea There are many other potentially informative case studies, one of which is the African Institute of Science and Technology Beginning in the early 2000s a consortium of international organizations led by the Nelson Mandela Institute (NMI) produced a detailed “business and implementation plan” for the creation of a new science and engineering university in Abuja, Nigeria Multiple arms of the World Bank Group, including the World Bank Institute and the International Finance Corporation, were heavily involved in the preparation of this feasibility study The Science Initiative Group (SIG) at the Institute of Advanced Study also contributed expertise A number of internationally renowned scientists, including SIG President Phillip A Griffiths and Professor C.N.R Rao of the Jawaharlal Nehru Centre for Advanced Scientific Research served as advisors Three aspects of the original strategic plan for AIST are potentially relevant in the Vietnamese context The first is its governance structure The architects of AIST sought to ensure that the institution would enjoy a high level of autonomy while remaining accountable to core stakeholders It was to be governed by an international board of trustees, with responsibility for hiring key personnel, including the president An Independent Scientific Advisory Board composed of nine eminent scientists would advise the AIST on scientific and academic matters, including the development of quality control and peer-review mechanisms Second, an international academic partner, the Indian Institute of Technology, Bombay would provide support to AIST during the start-up phase IIT, Bombay would participate in key areas including curriculum development and student admissions The plan explains this choice: “A new institution such as AIST-Abuja has the best chance of success if an existing, reputable institution is standing behind it…IIT-Bombay is an ideal partner for AIST-Abuja for many reasons It is a worldclass institute that has existed for almost fifty years Also, IIT-Bombay evolved in an emerging market environment.”137 Third, detailed financial projections were developed in order to produce a realistic estimate of the cost of building and operating AIST These estimates included the cost of hiring faculty members from European and North American universities An 137 Business and Implementation Plan: African Institute of Science and Technology Abuja Campus, p The Intangibles of Excellence June 2009 Page 56 of 64 equivalent level of foresight and transparency will be necessary to engender support from Vietnamese scientists and the general public We are certainly not advocating that Vietnam copy the plan for the AIST The economic and social challenges confronting Africa are very different from those Vietnam faces Moreover, AIST was conceived as a regional, rather than a national, undertaking The grand plans set forth in the original planning documents have yet to be realized.138 Nevertheless, we suggest that the process by which the AIST concept was initially devised may hold valuable lessons for Vietnam and its international development partners At the very least, a rigorous, consultative planning exercise that engages with the scholarly and scientific communities inside and outside Vietnam would surely benefit Vietnamese higher education policy 138 For instance, IIT Bombay ultimately did not assume as large a role as was originally envisioned The decision to reduce the scale of the AIST project appears to be due primarily to an inability to raise sufficient financing The Intangibles of Excellence June 2009 Page 57 of 64 APPENDIX TWO Is more money the answer?139 The Vietnamese government’s Higher Education Reform Agenda, 2006-2020 envisions a massive infusion of financial resources into the sector over the next ten years Vietnam spends a lot on education and the amount has more than tripled in real terms since 2000 Public education spending was only 3% of GDP in 2000 and was 5.9% of a rapidly rising GDP in 2008.140 The 2006 Living Standards Survey found monthly private education spending of nearly 30 thousand VND per capita or 3.1% of GDP If additional amounts for overseas educational spending were included, then current total spending on education is in the 9-10% of GDP range.141 Most middle income Asian nations spend 4-6% of GDP on education One would think that since they spend so much less, they have either lower quality or lower quantity Yet that is not the case If we add secondary and tertiary enrollment rates together, we find Vietnam is not very high compared to several of its neighbors, and indications of university quality are not encouraging either, even relative to its Asian neighbors The following table suggests just how out of line the relationship is: Nation China India Indonesia Malaysia Thailand Vietnam Total Education Spending/GDP 5.3% 5.6% 4.3% 6.4% 4.8% 9.0% Secondary + Tertiary ERR 98% 67% 83% 98% 133% 91% ERR per % of Spending 18.5 12.0 19.3 15.3 27.7 10.1 Sources: See notes at end of piece Of even more interest, while the tertiary enrollments in Vietnam are soaring in part because of distance learning programs of uncertain quality,142 there has actually been a sharp decrease in junior secondary students – the number dropped 12% from 2004 to 2007 while those in the age group fell only 7% Those in the senior secondary classes rose 9.5% from 2004 to 2007 while those in the age group rose slightly (2%), but since upper secondary students are only about half as numerous as junior secondary, the total number of secondary students has dropped by over half a million In other words, there was almost no change in combined secondary and tertiary enrollments from 2004 to 2007 while educational funding was soaring 139 This appendix was written by David Dapice of the Harvard Kennedy School Vietnam Program and Tufts University 140 These figures are supplied by MOET and found in the World Bank Higher Education Development Policy Program-First Operation loan document (Report No 47492-VN; June 23, 2009) 141 There are no official figures for the costs of overseas study but discussions in Hà Nội have the figure at well over $1 billion For reasons of internal consistency, it is unlikely that the Living Standards Survey picked up much of this expense This “extra” amount is not reflected in the table 142 Total college and university enrollments rose 608 thousand from 2004 to 2007, of which 394 thousand were full time students and 214 thousand were part-time (GSO Statistical 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